SEC Info - Development Planning & Financing Group, Inc

EDGAR Submission

Header Data:

Submission Type: MA-I

Filer Info:

Filer:

Filer ID: 1620430

Filer CCC: XXXXXXXX

Contact:

Name: Joyce He

Phone Number: 949-218-6008

Contact Email: joyce.he@dpfg.com

Notifications:

Internet Notification Address: joyce.he@dpfg.com

Form Data:

Is Amendment? No

Applicant Name:

First Name: Justin

Middle Name: Taylor

Last Name: Rowan

Has More Than One Advisory Firms? No

No of Advisory Firms: 1

Municipal Advisor Offices:

Municipal Advisor Office:

Municipal Firm:

Municipal Filer:

Filer ID: 1620430

Municipal Firm Name: Development Planning & Financing Group, INC

Municipal DBA Name: Development Planning & Financing Group, INC

Recent Employment Commenced Date: 10/1/13

Is Independent Relatioship? No

MA Registration:

Not SEC Registered:

Has Filed?

Filing Date: 10/22/14

CIK: 1620430

Advisor Offices:

Advisor Office:

Location Info: LOCATED

Start Date: 10/1/13

Address Info:

Address:

Street 1: 1060 Maitland Center Commons Suite 340

City: Maitland

State or Country: FL

ZIP Code: 32751

Residential History:

Employment History:

Current Employer:

Start Date: 10-2013

Name: Development Planning & Financing Group, INC

Address Info:

City: SAN JUAN CAPISTRANO

State or Country:

State or Country: CA

ZIP Code: 92675

Is Related to Municipal Advisor? Yes

Is Related to Investment? No

Position Description: Senior Manager

Prior Employers:

Prior Employer:

Start Date: 05-2013

End Date: 07-2013

Name: Trax Financial LLC

Address Info:

City: Orlando

State or Country:

State or Country: FL

ZIP Code: 32801

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: EVP Business Development

Prior Employer:

Start Date: 01-2013

End Date: 04-2013

Name: Linq2 Capital, LLC

Address Info:

City: Orlando

State or Country:

State or Country: FL

ZIP Code: 32814

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: Owner

Prior Employer:

Start Date: 07-2008

End Date: 12-2012

Name: ATM of Orlando, LLC

Address Info:

City: Orlando

State or Country:

State or Country: FL

ZIP Code: 32814

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: Owner

Prior Employer:

Start Date: 01-2003

End Date: 06-2010

Name: Prager, Sealy and Co. LLC

Address Info:

City: Orlando

State or Country:

State or Country: FL

ZIP Code: 32801

Is Related to Municipal Advisor? No

Is Related to Investment? No

Position Description: Vice President

Is Engaged in Other Business? No

Disclosure Questions:

Criminal Disclosure:

Criminal Disclosure Common Question:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Is Convicted of Misdemeanor? No

Is Charged With Misdemeanor? No

Is Org. Convicted of Misdemeanor? No

Is Org. Charged With Misdemeanor? No

Regulatory Disclosure:

Regulatory Disclosure Common Question:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Is Violated Security Act? No

Is Willfully Aided? No

Is Failed to Supervise? No

Is Found Willfully Aided? No

Is Association Bared? No

Is Final Order? No

Is Willfully Violated Security Act? No

Is Failed Resonably? No

Investigation Disclosure:

Is Investigated? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Complaint Disclosure:

Is Complaint Pending? No

Is Complaint Settled? No

Is Fraud Case Pending? No

Is Fraud Case Resulted Award? No

Is Fraud Case Settled? No

Termination Disclosure:

Is Viloated Industry Standard? No

Is Involved in Fraud? No

Is Failed to Supervise? No

Financial Disclosure:

Is Compromised? No

Is Bankruptcy Petition? No

Is Trustee Apointed? No

Is Bond Revoked? No

Judgment Lien Disclosure:

Is Lien Against? No

Signature Info:

Signature:

Date Signed: 10/29/14

Signature: Justin Rowan

Title: Senior Manager

Development Planning & Financing Group, Inc – ‘MA-I’ on 11/26/14

On: Wednesday, 11/26/14, at 2:32pm ET · As of: 10/29/14 · Accession #: 1620430-14-2 · File #: 868-04171

Previous ‘MA-I’: ‘MA-I’ on 10/30/14 · Next: ‘MA-I/A’ on 1/22/15 · Latest: ‘MA-I/A’ on 12/20/21

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents

This ‘MA-I’ Document is an XML Data File that may be rendered in various formats:

Development Planning & Financing Group, Inc – ‘MA-I’ on 11/26/14

On: Wednesday, 11/26/14, at 2:32pm ET · As of: 10/29/14 · Accession #: 1620430-14-2 · File #: 868-04171

Previous ‘MA-I’: ‘MA-I’ on 10/30/14 · Next: ‘MA-I/A’ on 1/22/15 · Latest: ‘MA-I/A’ on 12/20/21

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-IFiling Table of Contents

This ‘MA-I’ Document is an XML Data File that may be rendered in various formats:

Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents